The Role
Morningstar is seeking a Compliance Associate within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Associate will support the COI team in the management of the conflicts of interest program supporting a variety of Morningstar businesses that may include our Wealth Research and Retirement businesses, Credit, Sustainalytics and Indexes.
Job Responsibilities
- Develop, implement and review operating procedures for the general operation of the global conflicts of interest compliance program.
- Take responsibility for monitoring compliance with the firm’s conflicts of interest policies, including securities trading, gifts & entertainment and escalating issues to management as necessary.
- As required, effectively manage and supervise direct reports within the COI team (two direct reports initially)
- Administer the firm’s Conflicts Management System globally.
- Ensure proper documentation and record-keeping of associated controls.
- Support the Compliance Department in creating reports to Senior Management on a monthly, quarterly and annual basis.
- Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.
- Assist with the preparation for, and conduct of, regulatory examinations.
- Collaborate with a global team on multiple projects.
- 4 days a week in office attendance.
Qualifications
- At least 2 years’ experience in Compliance managing conflicts of interest functions and conducting regulatory analysis.
- Experience with control room functions, including preclearance of employee trades and management and use of restricted lists.
- Demonstrable experience in managing others or the ability to do so.
- Ability to work effectively in a team environment and adhere to business and workplace standards.
- Ability to conduct regulatory analysis, preparing memorandums and draft procedures.
- Background or experience in process automation or AI implementation is preferred.
- Experience interacting with employees at various levels of an organization.
- Highly developed interpersonal skills to build and maintain effective internal and external relationships.
- Strong communication skills (verbal and written).
- Strong analytical and investigative skills and sound judgment.
- Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
- In-depth knowledge of securities and the finance industry.
- Bachelor’s degree is required
Morningstar is an equal opportunity employer.
Morningstar's hybrid work environment gives you the opportunity to collaborate in-person each week as we've found that we're at our best when we're purposely together on a regular basis. In most of our locations, our hybrid work model is four days in-office each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you'll have tools and resources to engage meaningfully with your global colleagues.
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